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. DOB 70-1-1
* CHAPTER 1

15 November 1974

ANNEX B
THE 201 SYSTEM

Rescission: Annex B of Chapter IH, CSHB 70-1-1, 27 October 1566

1. INTRODUCTION

The 201 system provides a method for identilying a person of specific ‘jn-
terest to the Operations Directorate and for controlling and filing all pertinent
information about that person. The system also provides a means for identifying
subjects of 201 files from various categories of information about them and for
producing lisits of 201 personalities according to those czterories. Only a rela-
tively small number of personalities indexed are of sufficient interest to justify
opening a 201 dossier. These are normally subjects of extensive reporting and
Cl investigation, prospective agents and sources, members of groups and organi-
zations of continuing target interest, or subjects on whom a voluine of corre-
spondence has accumulated.

2% THE 201 SYSTEM

The principal features of the 201 system are: .

a. The 201 Number: a unique number, i.e., 201-1234567, assigned to each
individual in the system to serve as identifying file number for reporting on that
individual.

b. The 201 Dossier: thé official fle containing the 201 opening form (Form
" 831) and all biographic reporting on and references to the individual, i.e., pec-
sonal history, current status, and prospects, .

c. The Master 201 Record: a machine record generated by the opening of
a 201 file. This record produces the master 201 reference for the Main Index and
stores the pertinent information which may Jater be retrieved for special! listings.

a. Main Index Master 201 Reference: this reference, printed in reply to an
Index Search Request, is printed as illustrated below. When data are absent
within the record, succeeding data items or lines will be moved up and the ref-
erence consolidated. : .

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DOHB 70-1.1 :
. CHAPTER HI, ANNEX p
. 15 November 197-4
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0902 CROIX, WILLIAM PELeTON
Tp_-SE€ MA DOB 12 APA 26 08 CERN, BORLIN
ey Cl? Gers OCC PHARAACIS
3, PEP RACE~1234$, 20 F249 83 OC CODE CHES: ROO OATZ $3
SUSJECT PECENTLY ATTENDEO THE SUVENTELSTH ANSUAL
COuTEAESC2 OF TH. EIAATIOVAL ASSOC LATION OF ChE1ISES

"AWD PHARAACI STS 3m MUNICH, GERMANY FROM 272 THRUSH
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Information About Subject
1. Sequence Number and Name

TAT Ter eerrenre meaner meee eo wre ee

“= 2. Sex and Date of Birth oo. Le ae ot
E &. Cltizenship wpegtee wMetee ere Ce pyenhet ot cee 27
i 4. Place of Birth . .
b o 5. Occupation
i — 8. Occupatioa Code
F Bey 7. Text
i” Document Reference Dota Croup
8. 201 Namber .
9. Name Type Indicator * .
10. OF Codes
11. Record Date (year only) : .
12. Reference “ :
ISG Control Information ; Ff ’
13. Date of Latest update of the record . ot
34. STAR Index Record Number
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DOHB 70-1-!
CHAPTER I, ANNEX B

15 November 1974

ec. OL Code: a two letter symbal used in conjunction with the 201 per-
sonality records in the 201 system to record the association of an individual
with organizations or activities of operational interest. OF codes cover intelli-
gence and security service affiliation, whether staff or agent, oc known or
suspect, as well as activities of DDO interest. There are two cutegories of OF
codes for use Ly components:

(1) general OF codes (Attachment 4)

(2) OI codes assigned to a specific component for intelligence services
or other specific organizations.

A component may request an O] code be established by submitting a mem-
orandum to the DDO/RMO through the component Records Management
Officer.

A 201 personality may be assigned two OI codes. An OI code may be assigned
when the 201 Personality File Action Request (Form 831) is initiated (see
paragraph 3b below) by filling in Box 13 or 2 code may be assigned or added
at a later date by a Form 83] amendment. : :

The 201 system has the capability of producing machine listings of 201
personalities by OI codes. For example, if an Ol code has been opened for the
security service of a certain country a listing may be compiled of all members
of that service. : .

f. 201 Machine Lists: produced from the mechanized 201 Index, based on
names or other identifying information of personalities on whom 201 dossiers
exist.

an

3. OPENING A 201 DOSSIER

a. General

The opening of a 201 dossier is the prerogative of an operational com-
ponent, in coordination with the Information Services Group. An opening creates
a master 201 record. Changes to the master record and the occasional closing
of a 201 dossier are controlled jointly by the desks and ISG. 201 dossiers may be
opened on persons who meet the carding criteria described in Chapter II of this
handbook, when there is a reasonable expectation that additional information
will be acquired and filed in such a dossier. Generally dossiers are opened on
persons about whom counterintelligence information is being reported, and per-
sons of operational interest to the Operations Directorate, spccifically those
persons for whom provisional operational approvals and operational approvals
are requested (see exception below). 201 files are not to be opened on staff
cmployces, staff agents and most categories of contract employees. Files on

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DOHB 70-1-1
CUAPTER Ill, ANNEX B

. 15 November 1974

persons who are only of local interest to a field statioa or Headquarters desk

and on whom no DDO records correspondence exists are not a part of the DDO |

records systém and are to be maintained by that unit. Some desks levy require-
ments on ISG for automatic 201 openings on certain categorics of persons whose
names appear in incoming dispatches. These’ are listed in Attachment 2 201
dossiers should be opened in the following categories:

(1) Subjects of provisional operational approval and operational ap-
proval requests. However, a file need not be opened when a POA is requested
for persons being trained for a foreign liaison service and who are of opera-
tional interest for training purposes only.

(2) Persons for whom the field requests a 201 opening.

(3) MHFIXTURE personalities: bonafide diplomats of other than
denied area countries, in close association with stalf personnel.

_@) Subjects of a Personal Record Questionnaire Part I.

- (5) Persons on whom a Sfain Index search reveals inforination in five

or more documents (see DOI 70-20).

(6) Subjects of Interagency Source Register memoranda from LSN/
ISR (opened only by IP/RMS).

b. Requesting a 201 File Opening

Headquarters desks may open a 201 file by filling out and submitting
a 201 Personality File Action Request (Form 831) to the Records Main-
tenance Section (IP/RMS). Form 831 is also used to create or amend the
master 201 record and 201 machine listings aud to register the assign-
ment of a cryptonym to a 201 personality. Attachment 3 consists of sample
901 Personality File Action Requests for opening and amending 201's. A field
station may request the opening of a 201 file by writing 201- in the Head-
quarters file or cross-reference box on the dispatch form and/or after the
subject’s name in the body of the dispatch. A telepouch request for a 201 opening
is made by indicating 201- in the file number line. A cable request is made by
placing 201- after the term “File” on the last line of the transmission. IP/AN
will open 201 files as requested by dispatch or telepouch but it is the responsi-
bility of the desk to respond to cable requests. Field stations are notified of
201 openings through receipt of the field master 20] record.

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DONB 70-1-1
CHAPTER IU, ANNEX B

Tn ee a ono ‘

15 November 1974

4. CONTENTS OF THE DOSSIER

Information about a 201 personality should be filed or cross-referenced into
his dossier. When additional information is discovered on a 201 subject through
a name trace or other process, i.e., review of predecessor documents, it must
be consolidated into his personality dossier. See DOI 70-20 for consolidation
procedures.

Material which is filed in the dossier includes but is not limited to: —
- a, 201 Personality File Action Request (Ferm §33).

b. Biographic information including photographs, fingerprints, and
hardwriting samples.

ce. Personal Record Questionnaire Parts I and I.
d. Operational and other security approvals. =; St. a
e. Name check replies, requests, clearances, and approvals.
f. Acknowledgement of pseudonym. _ 7 _. . .
& 21 personality assessments and evaluations. = ee
h. Copy of contract and termination papers.
&L Secrecy agreement.
f- Agent Duty Status Report.
k Training and evaluation.
L SGSWIRL renort.
m. Newspaper clippings.
n. Any information which helps provide a better understanding of the
subject and our interest in him; this may include operational reporting.
5. MAINTENANCE OF 201 DOSSIERS

The 201 personality dossier contains, in document date order, papers which
have been made a part of the Central Records System as well as those which
have not. Record documents may range from newspaper or magazine articles
on the subject to finance and other administrative papers.

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' DOHB 70.3.1
‘ CHAITER IH, ANNEX B
1S November 1974
a Purging

Purging a 201 dossier is the responsibility of the desk olficer. It requires
discrimination in recognizing operationally useful material, rather than the
simple distinction between official and unofficial Papers; it will therefore take
place under the Supervision of a Records Officer, Purging should be done
periodically. A 201 dossier heing forwarded to Central Files for retention should
be purged. A 201 dossier should: be purged of the following:

(1) Duplicate material, ie. exact copy(s) of a document.

(2) Name trace form (Form 362) untess it has been the basis for
_ the opening. :

(4) All document restriction notices (Form 1884).

(5) The disseminated version of positive intelligence information it

a copy of the raw report is contained in the 201 file; the dissemination number
then must be transferred to the first page of the raw report.
o (8) Routing slips, routing and record sheets (Form 610) and dispatch

wee. cover sheets unless there are remarks such as coordinations or comments, “

dn + ----=--- (2) Record copy documents which only repeat substantive information
neeeee contained in other doc:

uments in the file; authorization for destruction is
by the Records Officer,

5
: (3) All abstract slips,
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he material must Possess Top Secret classification _

cross-reference sheet (Fo
of the TS document.

(9) Deferred documents (see 5b(2)). :

b. Maintenance Procedures

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(1) All material in a 20) dossier will be filed in document date order.
In the case of document attachments which have been classified into a 201

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dossier and separated from the basic document by the assignment of a slash i [£52 '
number, the attachment will be filed by the date of the basic document. ! ag |
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; (2) Deferred documents will not be filed in a 201 dossier. If they are 9,-

ag to be retained in the dossier they should be sent to IP/RMS for classification f:

3 into that 201. iz

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as (3) Field index cards (held by some desks) and area desk cards may Oe

af. be retained in the 901 as part of a consolidation procedure. These cards :
pe: should be mounted on a full-size sheet of paper for fuling in the 201. .

ry (4) A 201 dossier previously opened on 2 person who becomes a staff
5% employee and which contains Record Copy documents will be restricted to
the ISG/DIP unless the desk retains the restriction. The dossier should be
closed if there are no Record Copy documents in it.

(5) A 201 opened in pseudonym should be consolidated into the true

=] name 201 if one exists or converted to the true name. :
oe (6) Field and duplicate (shadow) 201 files no longer of active interest
es should be incorporated into the official 201 after the duplicate material :
a _ has been purged Ly the desk officer and the remaining information classified ;
gee -~— gto that 201 by the Analysis Section (IP/AN). c 3286 . '
eS (7) Any document with a predecessor organizaticn cover sheet or an oor '
tag OPC (Office of Policy Coordination) cover sheet from the Archives and a weed . t
=e Disposition Section (IP/ARD) must be returned to IP/ARD for processing ES a i
ras : to the 201. Ste
= (8) Desk memoranda (with or without a document source number) 4 at
& containing substantive or derogatory information on the subject of the 201 5 esa
co: should be sent to IP/AN to be classified officially into the 201 file. : xe
a (9) An attachment which shoud be separated from its basic document i
ot for inclusion in a 201 personality dossier will be forwarded with the basic '
s z document to IP/AN for processing into the 201. . |
ey (10) To retain the P&L, RYBAT, or KAPOK sensitivity of a document ,
é S remaining in a 201 dossier being retired to Central Files, place that document i
2 in an envelope sealed with black tape (see DOI 70-17). Any RYBAT, P&L, . '
f 3 or KAPOK document sent to Central Files not in a black-taped enveloge will

< automatically be handled as desensitized. A black-taped envelope may con-
tain only one document and must be filed in chronological order within the
file. If there are numerous documents of this type the desk officer may black-
tape the entire dossier rather than individual documents (see DOI 70-10).

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DOHB 70-1.1
CHAPTER IM, ANNEX B

15 November 1974

Black-taped dossiers or dossiers with black-taped documents will be
handled as restricted dossiers.

(11) An inactive 201 dossier or an inactive volume of a large 201

. dossier on permanent charge should be-rcturned to Central Files under a

Routing and Record Sheet with the notation shown below. .

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ROUTING ANO RECORD SHEST

(Yor guidance soe CSAB TO-1-1,
Chapter 312, Acsex B.)

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DOH 70-1-1
CHAPTER Hi, ANNEX B

15 November 1974

6. 201 DOSSIER CHARCES

A 201 dossier may be kept on permanent charge
period of active interest. If the dossier is transferred t
officer who is transferring the dossier must notify Central Files of the transfer,
Ceatral Files will then send the Notice of Transfer of Document or File Account-
ability (Form 2977) to the new action desk officer.

at the desk during any
‘o another desk, the desk

.

COSFISENTIAL

Chee peateg say

ROTICE OF TRANSFER OF DOCUMENT OR FILE ACCOUNTABILITY

Tots is to setity you that sccoustebility for the docupent(s) and/or rials) cited
telow bas been transferred to you by: .

eo oC eee we
Aecordicgly, IP's records now reflect you as the custodian. Please contact 1?/Files,
Ext. 8352, t¢ yo: Esve any questioas regarding this transfer.

G57 2977 ven evaeveee eosteren

CONFIDSATIAL

The new action desk officer must then fill out a 201 Personality File Action

Request (Form 813) to change the action desk designation to insure that the

201 personality will be included in the Headquarters and field machine listings
for his component. . : . .

7. RESTRICTED DOSSIERS

a. Access to a sensitive 201 dossier may be restricted by holding the file at the
desk or placing it on sestriction in Central Files, :

(1) The dossier may be restricted by checkinzg-Box 2 on the 201
Personality File Action Request (Form 831) when the file is opened, :

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- CHAPTER HI, ANNEX B

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15 November 1974

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(2) The dossier may be restricted by holding it on permanent charge
from Central Files. (Note: To maintain the restriction of a dossier being
retumed to Central Files for retention, a File Restriction Notice (Form
2021) must accompany the dossier.)

(3) The dossier may be restricted and held in Central Files by sub-
mitting a File Restriction Notice (Form 2021).

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ACTION L2SE: 1. To restrict a file, conplete fection A (sigasture of £.0. rot
becessery).
2. To eae vestriction, eanplete Section B (2.0. signature

becessary).

RESTAIST TO: (Use country or noa-tountry code pusber. See CSI 73-23)
vee . RESTRICTED ET:

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b. Access to a restricted dossier located in Central Files is iimited to the
personnel of the restricting desk or persons authorized by that désk Any request
for the charge of a restricted dossier or any document within a restricted dossier
held in Central Files will be forwarded with the entire dossier and a multiple-
routed cover sheet to the restricting desk. This desk may then forward the file
to the requester or deny the request and return the dossier to Central Files. The
desk will notify the requester of a denial.

' e. Anyone requesting a restricted dossier, or a document within a restricted
\ Gossier, permanently or temporarily charged to a desk, will be referred to that
. desk by Central Files.

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CHAPTER Ill, ANNEX B

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15 November 1974

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8. REQUESTS FOR INFORMATION ON 201 PER>ONALITIES

The Automated Index Section (IP/AIS) will provide the itcutity of the
subject of a 201 number unless the 201 file is restricted, in which case the
requester will be referred to the restricting desk. :

IP/AIS will also provide the 201 number assigned to a name, unless the 201
file is restricted, or state that there is no 201 number assigned. Requesters should
supply identifying information whenever available for each name submitted.

Requests pertaining to five or fewer names or numbers may be made by
telephone by calling the IP/AIS red line extension; IP/AIS will provide the
information by return call to the requester’s extension as listed in the Badge
Table. Requests for more than five names or numbers must be listed and sent
by tube or courier to LP/AIS; IP/AIS will reply by return mail. :

9. 201 DOSSIER CANCELLATION

A 201 file may be authorized for cancellation by a Records Officer, after
appropriate coordination. The file should be forwarded to IP/RMS which will .
destroy the folder and the cards leading to it and will remove the name and
number from machine lists. Any Record Copy document contained in the folder
will be reclassified to another appropriate file or sent to the Destruction Unit
(IP/DU) as directed by the desk Records Officer.

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10. 201 MACHINE LISTINGS

Machine listings provide field stations and Headquarters desks with names
and 201 numbers in the requester’s particular geographic or functional area of
interest. 1f a component wishes to exclude a sensitive 201 personality from its
alphabetic, numeric, and cryptenym listings, this may be done when opening
the 201 or Jater by a 201 amendment. On the 201 Personality File Action Request
(Form 831) leave the country of location (Box 15) and interest desk (Box 16)
blink, use the non-country code 900 in the action box (Box 14), and indicate
permanent charge to the responsible desk. The only listing which will include the
201 number is the IP/201 record for the Vital Records program. 201 listings are
categorized as standard or nonstandard and as scheduled or special.

a. Standerd Listings

Issued semi-annually to Headquarters and the ficld; based on a component's
interest as indicated in the “Action Desk,” “Country of Location,” and “Interest

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DOHB 70-1-1
- oe Loe CHAPTER Hil, ANNEX B

. . 335 November 1974

Desk” blocks on the 201 Personality File Action Request (Form 831). The
standard listings available are: : .

Q) Alphabetical by ‘sumame, leading to a 201 number;

(2) Alphabetical by given name, leading to a 201 number; | ~ .
(3) Alphabetical by cryptonym, leading to a 201 number; i
(4) Numerical, leading to a surname; ot
(5) Numerical, leading to a cryptorym. a ot te

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. DOHB 70-1-1
CHAPTER Ht, ANNEX B

15 November 1974

All standard listings are cumutstive; previous editions inust be destroyed
upon receipt of current editions. These listings are by their very nature extremely
sensitive compilations of information and must be given every possible safeguard.

b. Non-Standard Listings

Based on one or more of the following selection criteria:
’ (1) Country of location
(2) OL codes (organization and/or intelligence affiliation)
(3) Citizenship pe
(4) Year of birth (plus or minus a given number of years)
(5) Occupation. ss - .

These selection criteria may be used singly or in combinations. For example,
a user could obtain a list of all 201 personalities who have been assigned the
O! code of XX or codes of XX, XY, or XZ. A 201 personality list could also be
produced of all persons who were born in Germany between the years 1915
and 1920, with the occupation computer specialist, who are now citizens of the
United States, located in Mexico, and who had been assigned the OI code AA.
Note however that the Jisting would contain only those personalities with an
OI code AA. Those personalities with an OI code other than AA and those
with no OI code would be excluded. The requester could however ask that
persons who have not been assigaed an OI code also be included. Note also
that when retrieving lists based on occupation, the listing will be only as specific
as the occupation code (Attachment 1). The occupation cede for a courier
covers only a documented courier. Some ‘occupation codes cover more than one *
occupation. For example, the occupation code CRAF covers those who practice
some trade or manual occupation, i.e., carpenters, bricklayers, painters, mechanics
_' and electricians. If a list is requested for electricians, all others in this category
-- will be included in the printout. These non-standard listings may be sorted
_ (arranged) according to any, but not more than three, of the following keywords: _

(a) Sumame

(b) Given name . oo. .

- (e) Date of birth - -: i ere re
(d) Country of birth : : ce.

(e) Citizenship ; ;

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DOHB 70-1-1
CHAPTER IU, ANNEX B
15 November 1974
H “Sorts can be made within sorts. For example, 201 personalities may be sorted
: alohabetically by sumame within OI codes for given countries of location. ‘=
: Because two O] codes may be listed for cach personality, those names with two 2
; OI codes would be listed twice. “24
{ Se
} c. Scheduled Listings AG
; ’ Standard and non-standard listings printed semiannually. = f
: d. Special Listings , i
Unscheduled, usually non-standard, listings produced on a one time basis ed
im response to special operational requirements. Se
e. Request for Listings :
All requests for standard or non-standard alphabetical and numerical 201 ca:
listings for Headquarters and the field, for changes in periodic listings, and for hq
: information on the 20] machine list system should be made to the component +§
' Records Management Officer. 3k
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DONB 70-1-1
CHAPTER HI, ANNEX B
Attachment 2

5 November 1974

_
ut

AUTOMATIC 201 DOSSIER OPENINGS

Note: 201 files will be opened automatically by IP/AN on the following cate-
gories of people.
1. Arab Republic of Egypt (ARE)
a. Diplomats with rank of third secretary or above.
b. Military attaches and assistant military attaches.
c. Intelligence officers of the General Intelligence Department (GID).

(Prior to opening of an ARE 201 file, check with NE/E for correct spelling
of name and additional biographic data.)

2 British Commonwealth -
_ 2 All positively identified members of MI-S and MI-6, the British Intelligence
Services. ~

b. AL positively jdentified members of the Icish Military Intelligence Service 7
(IMIS).

¢. Canadian Communist Party officials on national or provincial levels and
officials of the Canadian Communist Party front organizations. Do not open
unless there is at least a date of birth given.

&@ AN members of the Security Service of the Royal Canadian Mounted
Police (RCMP-SS).
2. Cuba
Intelligence service employees (DSE, DGI).
4. Israel

a. All Israeli diplomats. C/NE/ISR should be indicated as the originating
office with CI/SP always indicated as the secondary office of interest.

b. Military attaches.
c. Assistant military attaches. .
~ & Wentified intelligence officers. —

26.15

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DOHB 70-1-1
CHAPTER IU, ANNEX B
Attachment 2

15 November 1974

5. North Vietnam : .
All diplomats and NFLSV (PRG) officials stationed abroad.

6. USSR

a. All Soviets assigned PCS to an official representational iustallation, i.e,
embassy, consulate, commercial representation, national airline (Aeroflot)
office, news media office.

b. All Soviets assigned PCS to the United Nations in New York, Paris, Geneva,
and Vienna.

¢, Audio technicians, after coordination with SE ‘desk concerned. -

d. Students who will be studying abroad for a full academic year at institutions |

of higher learning,

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oa 7 CHAPTER Itt
CLANDESTINE SERVICES ;
HANDBOOX NO. 43-t-1 15 February 1960

-—-

te afile. For

-.: factions ghd opdjectives can be assisted by furnishing all participating

me nS tae, SR a tee

ot . ANNEX B

"PERSONALITIES - 201 AND IDN NUMBERS

CI investigation, prospective agents and sources, ard members of
groups and organizations of continuing target interest. Each of these
Personalities is assigned either a 208 number F an DN number.

<2. 2. The 201 number serves 2 , dual purpgse. tt brings the files on
these personalities into the CS records sfstem. A single number,
e.g., 201L-123456, is assigned to each person, and a dossier controlled
by this number is established which <ontains, or has cross referenced
to it, all of the reporting on the ingividual’s personal history, current
- status and prospects. Once the 201 number is assigned, it is used in

.. futpre reporting on the indivi both as a file number and in place of
other identifying data. Up-to-date machine listings are published
periodically to help field sations and headquarters desks keep book
on those 201 personalitiss falling in their particular geographic or
-functional area of interést. re .

oa
c .

3. It has becom¢ apparent that the 201 machine listings should in-
clude the identities of persons of operational interest because of their
connection with 2 target group or organization even though there may
information or specific interest to warrant opening
mple: A considerable number of stations are concerned
. With the acfivities of Cuban exiles. Coverage cf their movements, -

stations/up-to-date listings containing information under the control |

Dung l b PE

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Ts CHAPTER I, ANNEX B

CLANDESTINE SERVICES

: HANDBOOK NO. 43~t-r . 15 5 February 1960

of the Cuban desk on the dramatis personae. In addition te to 201 per-
sonalities, such lists should contain the names and identifying data Loe.
of persons who should be kept track of, althougi they may only be of .

{

tangential interest or on whom there may be ittle or no data other
than that given in the listing itself-

4. To accommodate this type of requiYement in the 201 system,
identifiable personalities concerning whgm enough information is not .
yet available to require the opening of d file may be assigned numbers -
of the following type but in the same series: a

S)
<i

These are relabeled “201” if a fjle is opened. IDN numbers are car-

ried with 201 numbers in aporopriate general or special listings,

where they are identified by tiie letter “I” in the “Type of Name” col- -
- umn. IDN numbers are not €S file numbers. . =

5. All 201 code numbers are assigned by RID at headquarters,

' , elther upon receipt of Form 831, or of a field dispatch. Ii a dispatch
is written about a per bnality not yet in the system, a 201 number for
it may be requested Simply by writing under headquarters file number

XYZA~12345 ;

+ : 6. IDN numbers are assigned by RID at headquarters upon the
) . request of stations or deyks which are developing special identification
programs within the 201 system. The field receives current notifica-
tion Of new 201 openings-and-IDN-numbers_through the Field Incex Card
Service. . —

as follows: -
2""Dispatch SymbolandNo. * =~). oe Dn
{

44

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. CHAPTER TW, ANNEX B .
CLANDESTINE SERVICES ? :
HANDBOOK NO. 43-£-4- 15 February 19 |
: , %. Stations or branches often are concerned with pepSonalities

not of general CS concern. Files on these may be kept in any desired
order. Should such personalities become of genera? CS interest,
they must be brought into the 201 system. ° ; .

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